Gery Sadzewicz Consulting, LLC, provides broad-based, proactive consulting services on a multitude of compliance, financial, infrastructure, and risk issues affecting financial service organizations — issues that can have a direct and indirect impact on the reputation and finances of your organization. Our objective is to get to the heart of the issue, accurately convey risks, and arrive at solutions in a manner that minimizes costly administrative burdens.

 

Our firm serves small investment advisory or broker-dealer organizations that as a result of cost and competitive pressures are strategically aligned to embrace outsourcing and minimize compliance and related costs.

 
The Experience Your Company Requires
Gery Sadzewicz Consulting, LLC, is led by a skilled securities compliance and business professional with thirty years' experience in identifying compliance, financial, and regulatory risks at such firms as Oppenheimer & Co., Ernst & Young Investment Advisers, Koch Industries, and the Walt Disney Company.

Gery has a wealth of practical knowledge involving securities and investment advisory issues through hands-on experience in creating broker-dealers and investment advisers. He is an experienced consultant who understands that management’s time is best devoted to driving business growth and profitability. Gery maintains a keen awareness of compliance, business, financial, operations, and technology issues confronting investment advisory and securities firms covering a wide variety of issues, including:
  • Products, product development, and business platforms (e.g., wealth management, asset management, wrap fee programs, private placements, capital raises, private equity, insurance, investment banking, IT, and operating platforms).
  • Disclosure, supervisory systems, annual compliance testing, financial responsibility rules, client suitability, audits, forensic testing, regulatory audits and inquiries, and related matters.
Among Gery’s significant accomplishments:
  • Has served over twelve years as a CCO, CFO, and FINOP.
  • Managed several FINRA and SEC audits in diverse financial service organizations.
  • Created three broker-dealers and thirty investment advisory firms, including supervisory systems for each.
  • Provided compliance and financial consulting services to senior management of over sixty firms.
  • Built three asset management platforms.
  • Created multiple fee-based money management programs.
  • Created several separately managed wrap programs as well as a mutual fund wrap program.
  • Advised a multi-billion dollar private company on insider trading issues relative to its capital markets, CDO office, and IT departments.
  • Oversaw the development of a securities firm’s IT infrastructure (information flow, email, redundancy, backup, and related issues).
  • Managed a FINRA 1017 change of ownership application.
  • Advised Koch Industries, a multi-billion dollar private company, on insider trading issues relative to its corporate development office, capital markets group, and IT departments.
  • Created independent AML compliance program and audit procedures, supervised the overall process, and managed the external audit for each of the following firms:
        • Ernst & Young Investment Advisors – wealth management, $5 billion AUM, 300 employees
        • Ernst & Young Corporate Finance – annual revenue of $100 million at its peak, 250 employees
        • Ernst & Young Corporate Finance Canada – annual revenue in excess of $10 million
        • Giuliani Capital Advisors – $85 annual million at its peak
        • Chou Mutual Funds
        • DLS Capital Management
        • Promus Capital
        • Midland Asset Management – wealth management
        • InterOcean Wealth Management – wealth management, $750 million AUM, startup
        • InterOcean Securities – retail securities and investment banking advisory, startup

 
 
 
Comments